北京市金杜律师事务所 为出具本专项核查意见，本所律师核查了上市公司提供的《重大事项进程备 忘录》《内幕信息知情人员登记表》、相关机构或人员出具的自查报告、中国证 券登记结算有限责任公司（以下简称登记结算公司）出具的《信息披露义务人持 股及股份变更查询证明》《股东股份变更明细清单》等文件资料和信息，并对自 查期间买卖上市公司股票的相关主体进行了访谈。 本专项核查意见的出具已得到公司如下保证：公司已经提供了本所为出具本 专项核查意见所要求公司提供的原始书面材料、副本材料、复印材料、承诺或口 头证言；公司提供给本所的文件和材料真实、准确、完整和有效，并无隐瞒、虚 假和重大遗漏之处，文件材料为副本或复印件、扫描件的，其与原件一致并相符； 对于本专项核查意见至关重要而又无法得到独立证据支持的事实，本所依据有关 政府部门、公司或其他有关单位、个人出具的承诺文件及口头证言出具核查意见。 关于沈阳金山能源股份有限公司重大资产出售暨关联交易的 股票交易自查期间内相关机构或人员股票买卖情况之 专项核查意见 致：沈阳金山能源股份有限公司 北京市金杜律师事务所（以下简称本所）接受沈阳金山能源股份有限公司 （以下简称公司、上市公司或金 ...

证券代码：600396 证券简称：*ST金山 公告编号：临2023-045号 沈阳金山能源股份有限公司 关于本次交易相关内幕信息知情人买卖股 票情况的自查报告 本公司董事会及全体董事保证公告内容不存在任何虚假记载、误导性陈述 或者重大遗漏，并对其内容的真实性、准确性和完整性承担法律责任。 沈阳金山能源股份有限公司（以下简称"金山股份"或"上市公司"）拟以现金方式 向华电辽宁能源有限公司出售上市公司所持有的辽宁华电铁岭发电有限公司100%股权 及阜新金山煤矸石热电有限公司51%股权（以下简称"本次重组"、"本次交易"）。 根据《上市公司重大资产重组管理办法》《公开发行证券的公司信息披露内容与 格式准则第26号——上市公司重大资产重组》《监管规则适用指引——上市类第1号》 等法律法规的要求，上市公司对本次交易相关内幕信息知情人买卖股票的情况进行了 自查，并在中国证券登记结算有限责任公司上海分公司申请了查询。具体情况如下： 一、本次交易的内幕信息知情人买卖股票情况自查期间 本次交易的内幕信息知情人的自查期间为：上市公司就首次披露重组事项（2023 年04月25日）前6个月（2022年10月25日）至2023年06月 ...

华泰联合证券有限责任公司 关于 沈阳金山能源股份有限公司 本次交易相关内幕知情人买卖股票情况的自查报告 之 专项核查意见 根据《上市公司重大资产重组管理办法》《公开发行证券的公司信息披露内 容与格式准则第 26 号——上市公司重大资产重组》《监管规则适用指引——上市 类第 1 号》等文件的规定，华泰联合证券有限责任公司（以下简称"独立财务顾 问"、"华泰联合证券"）作为沈阳金山能源股份有限公司（以下简称"金山股份"、 "上市公司"）重大资产出售暨关联交易（以下简称"本次交易"或"本次重组"） 的独立财务顾问，对金山股份本次交易相关内幕信息知情人买卖股票的自查报告 进行了核查，具体如下： 一、本次交易的内幕信息知情人买卖股票情况自查期间 本次交易的内幕信息知情人的自查期间为：上市公司就首次披露重组事项 （2023 年 04 月 25 日）前 6 个月（2022 年 10 月 25 日）至 2023 年 06 月 27 日， 即第八届董事会第十次会议召开之日。 二、本次交易的内幕信息知情人核查范围 本次交易的内幕信息知情人核查范围包括： （1）上市公司及其董事、监事、高级管理人员及相关知情人员； （2）交易对方及 ...

证券代码：600396 证券简称：*ST 金山 公告编号：临 2023-021 号 沈阳金山能源股份有限公司 关于召开 2022 年度暨 2023 年第一季度 业绩说明会的公告 本公司董事会及全体董事保证本公告内容不存在任何虚假记载、误导性陈述或者重大 遗漏，并对其内容的真实性、准确性和完整性承担个别及连带责任。 重要内容提示： 会议召开时间：2023 年 05 月 10 日(星期三) 下午 15:00-16:00 会议召开地点：上海证券交易所上证路演中心（网址： http://roadshow.sseinfo.com/） 会议召开方式：上证路演中心网络互动 投资者可于 2023 年 04 月 28 日(星期五) 至 05 月 09 日(星期 二)16:00 前登录上证路演中心网站首页点击"提问预征集"栏 目或通过公司邮箱 zqb600396@126.com 进行提问。公司将在说明 会上对投资者普遍关注的问题进行回答。 （一）会议召开时间：2023 年 05 月 10 日下午 15:00-16:00 （二）会议召开地点：上证路演中心 （三）会议召开方式：上证路演中心网络互动 三、参加人员 董事长：毕诗方 沈阳 ...

Financial Performance - The audited net assets of the company for 2022 were negative, which may lead to a delisting risk warning from the Shanghai Stock Exchange[6]. - The company has proposed no profit distribution for the reporting period[5]. - The company has received an unqualified audit report with an emphasis on matters related to going concern uncertainty[4]. - The company's operating revenue for 2022 was ¥7,129,130,027.62, an increase of 8.44% compared to ¥6,574,339,046.18 in 2021[21]. - The net profit attributable to shareholders of the listed company was -¥2,025,913,522.59, worsening from -¥1,915,875,970.47 in the previous year[21]. - The basic earnings per share for 2022 was -¥1.3703, compared to -¥1.3037 in 2021[22]. - The weighted average return on equity was -165.83%, a decrease of 165.83 percentage points from 3.94% in 2020[22]. - The company reported a decrease in net profit attributable to shareholders after deducting non-recurring gains and losses by ¥1.10 billion, primarily due to high coal prices and increased asset impairment provisions[22][23]. - Operating revenue increased by 8.44% year-on-year to 7.13 billion RMB, while total profit decreased by 1.98 billion RMB to -2.39 billion RMB[43][45]. Operational Highlights - The company’s total electricity generation in 2022 reached 16.590 billion kWh, with main business revenue of 7.086 billion CNY[31]. - The average selling price of electricity increased by 59.20 CNY/MWh, contributing an additional 0.805 billion CNY to revenue[32]. - The company reduced ineffective electricity generation by 1.835 billion kWh, resulting in a loss reduction of 0.14 billion CNY[31]. - The company signed long-term coal contracts covering 12.65 million tons, achieving significant cost control[32]. - The company achieved auxiliary service revenue of 0.361 billion CNY, an increase of 0.238 billion CNY year-on-year[31]. - The company is actively optimizing coal procurement and controlling costs to mitigate the impact of high coal prices on profitability[22]. Asset and Liability Management - The total assets decreased by 9.91% to ¥18,871,367,234.43 from ¥20,946,277,330.45 in 2021[21]. - The total liabilities at the end of the reporting period amounted to 20.986 billion yuan, an increase of 0.315 billion yuan compared to the previous period[66]. - The company's asset-liability ratio exceeds 100%, affecting credit ratings and financing costs, which limits investment capabilities and complicates transformation efforts[93]. - The company's total equity as of December 31, 2022, was -2,114.27 million, with equity attributable to the parent company at -1,797.47 million, indicating significant financial distress[169]. Governance and Compliance - The company is enhancing its internal control and compliance risk management to improve overall governance and operational efficiency[97]. - The company has revised its governance documents to ensure compliance with legal and regulatory requirements, enhancing operational standards[96]. - The company is committed to ensuring the independence of its assets, personnel, and operations from its controlling shareholder, China Huadian Corporation[98]. - The company is focused on enhancing its governance structure by appointing independent directors with diverse backgrounds[109]. - The company is committed to maintaining transparency and accountability in its governance practices[112]. Environmental and Social Responsibility - The company invested 195.12 million yuan in environmental protection during the reporting period[149]. - The company achieved a dust emission of 192.42 tons, sulfur dioxide emission of 1,153.37 tons, and nitrogen oxides emission of 2,329.44 tons, all meeting the discharge permit requirements[150]. - The company has established a comprehensive environmental management information system, including monitoring records and pollution control facility management[155]. - The company reported a reduction of 1,695,373 tons of carbon dioxide equivalent emissions through various operational efficiency measures[158]. - Total investment in social responsibility projects amounted to 1.0948 million yuan, benefiting 1,170 individuals through targeted assistance programs[159]. Future Strategies - The company plans to enhance coal supply through long-term contracts and explore additional coal sources domestically and internationally[42]. - The company aims to achieve a GDP growth rate of around 5% in Liaoning Province for 2023, with total electricity consumption expected to reach 2,627.32 billion kWh, a year-on-year increase of 3%[88]. - The company plans to optimize its asset structure and focus on clean and low-carbon transformation, while enhancing its competitive strength through innovation and efficient economic practices[89]. - The company is focused on expanding its market presence through strategic initiatives and potential establishment of new subsidiaries[130]. - The company plans to increase investment in wind power project construction as part of its future strategy[131]. Related Party Transactions - The company reported a total of 793,775,259.99 RMB in related party transactions during the reporting period[186]. - The company incurred a litigation amount of 742,712,500 RMB related to a civil judgment received in November 2022[183]. - The company has ongoing engineering service agreements with multiple related parties, including 15,837,149.72 RMB with Nanjing Guodian Nanzi Weimide Automation Co., Ltd[186]. - The company’s financial transactions with related parties did not adversely affect its operational results or financial condition[192].

2023 年第一季度报告 证券代码：600396 证券简称：金山股份 沈阳金山能源股份有限公司 2023 年第一季度报告 重要内容提示 公司董事会、监事会及董事、监事、高级管理人员保证季度报告内容的真实、准确、完整，不存 在虚假记载、误导性陈述或重大遗漏，并承担个别和连带的法律责任。 公司负责人、主管会计工作负责人及会计机构负责人（会计主管人员）保证季度报告中财务信息 的真实、准确、完整。 第一季度财务报表是否经审计 □是 √否 一、 主要财务数据 (一)主要会计数据和财务指标 单位：元 币种：人民币 | 项目 | 本报告期 | 本报告期比上年同期增 减变动幅度(%) | | --- | --- | --- | | 营业收入 | 2,026,773,048.34 | -7.21 | | 归属于上市公司股东的净利润 | -253,342,397.75 | 46.98 | | 归属于上市公司股东的扣除非经 | -259,820,950.17 | 46.46 | | 常性损益的净利润 | | | | 经营活动产生的现金流量净额 | -693,694,936.83 | -1,325.79 | | 基本每股收益（元/股 ...

2022 年第三季度报告 证券代码：600396 证券简称：金山股份 沈阳金山能源股份有限公司 2022 年第三季度报告 本公司董事会及全体董事保证本公告内容不存在任何虚假记载、误导性陈述 或者重大遗漏，并对其内容的真实性、准确性和完整性承担法律责任。 重要内容提示： 公司董事会、监事会及董事、监事、高级管理人员保证季度报告内容的真实、准确、完整， 不存在虚假记载、误导性陈述或重大遗漏，并承担个别和连带的法律责任。 公司负责人、主管会计工作负责人及会计机构负责人（会计主管人员）保证季度报告中财务 信息的真实、准确、完整。 第三季度财务报表是否经审计 □是 √否 一、 主要财务数据 (一)主要会计数据和财务指标 1 / 16 单位：元 币种：人民币 项目 本报告期 本报告期比 上年同期增 减变动幅度 (%) 年初至报告期末 年初至报告期 末比上年同期 增减变动幅度 (%) 营业收入 1,628,187,937.80 22.00 5,049,575,829.19 10.90 归属于上市公司股东的净利润 -524,451,093.05 不适用 -1,297,978,466.84 不适用 归属于上市公司股东的扣除非 ...

Financial Performance - The company's operating revenue for the first half of 2022 was approximately CNY 3.42 billion, representing a 6.30% increase compared to CNY 3.22 billion in the same period last year[20]. - The net profit attributable to shareholders for the first half of 2022 was a loss of approximately CNY 773.53 million, worsening from a loss of CNY 315.56 million in the previous year[20]. - The net cash flow from operating activities increased by 14.52% to approximately CNY 439.06 million, compared to CNY 383.39 million in the same period last year[20]. - The basic earnings per share for the first half of 2022 was CNY -0.5252, compared to CNY -0.2143 in the same period last year[22]. - The company reported a non-recurring profit of approximately ¥18.34 million, with a tax impact of ¥1.6 million and minority interest impact of ¥4.12 million[25]. - The company achieved a total electricity generation of 747,278.19 million kWh, a decrease of 13.35% year-on-year[36]. - The net profit of Tieling Company decreased by 92.35% year-on-year, primarily due to a significant increase in coal prices and fuel costs[49]. - The net profit of Dandong Thermal Power Company decreased by 488.35% year-on-year, also attributed to rising coal prices and increased fuel costs[49]. - The company reported a significant lawsuit involving a claim of RMB 7,448,630.17 related to unpaid coal payments, with a total potential liability of RMB 7,636,881.25[75]. Assets and Liabilities - The total assets decreased by 6.91% to approximately CNY 19.50 billion, down from CNY 20.95 billion at the end of the previous year[21]. - The net assets attributable to shareholders were negative at approximately CNY -559.66 million, a decline of 380.28% from CNY 199.68 million at the end of the previous year[21]. - The company's total assets decreased from CNY 20,946,277,330.45 to CNY 19,498,198,421.20, a reduction of approximately 6.92%[108]. - Total liabilities decreased from CNY 20,670,345,694.48 to CNY 20,048,829,997.76, a decline of about 3.00%[108]. - The company's total non-current liabilities amounted to CNY 1,717,708,010.60, an increase from CNY 1,279,990,453.13 in the previous year[112]. Operational Efficiency - The average utilization hours of the company's thermal power units in Liaoning were 1,119 hours, which is 532 hours lower than the provincial average[30]. - The average utilization hours of thermal power units in the Northeast grid were 1,651 hours, reflecting a year-on-year decrease of 200 hours[30]. - The company’s heat supply reached 14.15 million GJ, covering a heating area of 72.79 million square meters[30]. - The coal procurement cost for coal-fired power plants increased by approximately ¥200 billion year-on-year due to high coal prices, significantly impacting profitability[31]. - The company achieved a 20% increase in on-grid electricity prices compared to the benchmark price, enhancing economic efficiency in power generation and heating[32]. Cash Flow and Investments - The company's investment activities generated a net cash flow of -286,949,716.53 yuan, a decrease of 84.93% year-on-year[38]. - The company reported a bank deposit balance of RMB 789,554,651.61, with interest income from current deposits amounting to RMB 4,691,567.28, an increase from RMB 4,098,654.12 in the same period last year[86]. - The company received CNY 3,108,295,425.03 in borrowings during the first half of 2022, up from CNY 1,953,000,000.00 in the same period of 2021[124]. - Cash flow from investing activities showed a net outflow of approximately ¥287 million, worsening from a net outflow of ¥155 million in the previous year[122]. Related Party Transactions - The total amount of related party transactions during the reporting period reached RMB 765,001,450.25, primarily from coal procurement[77]. - The largest single transaction was coal procurement from Huadian Global (Beijing) Trade Development Co., Ltd., amounting to RMB 720,911,211.63[77]. - The company provided financing leasing services amounting to RMB 148,639,100.31 to Huadian Financing Leasing Co., Ltd.[82]. - The company has provided a total of RMB 1,356,500,000.00 in funds to related parties, with RMB 249,000,000.00 already repaid by the end of the reporting period[90]. Governance and Compliance - The company has established independent financial and operational structures to ensure compliance with regulatory requirements and maintain operational autonomy from its parent group[72]. - The company is committed to maintaining independent financial decision-making and tax compliance, ensuring no shared banking accounts with related parties[72]. - The company guarantees that it will not engage in illegal occupation of Kingsoft's funds or assets, and will not request any form of guarantees from Kingsoft[71]. - The company has a robust governance structure in place, including independent boards and management teams, to uphold corporate governance standards[72]. Environmental Compliance - The company achieved a total emission of 89.6 tons of smoke, 548.74 tons of sulfur dioxide, and 1058.89 tons of nitrogen oxides, all meeting the total emission requirements of the pollution discharge permit[57]. - The dust removal facilities operated at a 100% operational rate with an efficiency greater than 99.9%, while the denitrification facilities had a 97.5% operational rate and an efficiency of 86.90%[58]. Shareholder Information - The number of ordinary shareholders at the end of the reporting period was 97,473[99]. - The largest shareholder, Huadian Energy Co., Ltd., held 308,061,649 shares, accounting for 20.92% of the total shares[99]. - The company did not experience any changes in its share capital structure during the reporting period[97]. Accounting Policies - The accounting policies comply with the requirements of enterprise accounting standards, ensuring a true and complete reflection of the company's financial status[145]. - The company's accounting currency is Renminbi (CNY)[147]. - The consolidated financial statements are prepared based on the financial statements of the parent company and its subsidiaries, following relevant accounting standards[152].

证券代码：600396 证券简称：金山股份 沈阳金山能源股份有限公司 2022 年第一季度报告 本公司董事会及全体董事保证本公告内容不存在任何虚假记载、误导性陈 述或者重大遗漏，并对其内容的真实性、准确性和完整性依法承担法律责任。 重要内容提示 公司董事会、监事会及董事、监事、高级管理人员保证季度报告内容的真实、准确、完整，不存 在虚假记载、误导性陈述或重大遗漏，并承担个别和连带的法律责任。 公司负责人、主管会计工作负责人及会计机构负责人（会计主管人员）保证季度报告中财务报表 信息的真实、准确、完整。 第一季度财务报表是否经审计 □是 √否 2022 年第一季度报告 一、 主要财务数据 (一)主要会计数据和财务指标 单位：元 币种：人民币 | 项目 | 本报告期 | 本报告期比上年同期增 | | --- | --- | --- | | | | 减变动幅度(%) | | 营业收入 | 2,184,316,175.52 | 7.81 | | 归属于上市公司股东的净利润 | -477,830,159.55 | -1,766.77 | | 归属于上市公司股东的扣除非经 | -485,285,270.45 | -2,1 ...

Financial Performance - The company's operating revenue for 2021 was CNY 6,574,339,046.18, a decrease of 9.77% compared to CNY 7,286,516,130.81 in 2020[21]. - The net profit attributable to shareholders of the listed company was a loss of CNY 1,920,001,439.10, a decline of 2,449.42% from a profit of CNY 81,722,213.97 in 2020[22]. - The net cash flow from operating activities decreased by 86.91% to CNY 139,151,529.90 from CNY 1,062,920,380.12 in the previous year[22]. - Basic earnings per share decreased to -1.3037 CNY from 0.0555 CNY in the previous year, a decline of 2,449.01%[23]. - Operating revenue for the year was 6.574 billion yuan, a decrease of 9.77% year-on-year, while the total profit was -2.191 billion yuan, a decrease of 22.28 billion yuan[46][48]. - The net profit attributable to shareholders was -1.920 billion yuan, a decrease of 20.02% year-on-year, with a cumulative coal consumption of 299.99 grams/kWh[46]. - Operating costs increased by 20.04% year-on-year to 7.706 billion yuan, primarily due to rising coal prices[49][50]. Assets and Liabilities - The total assets at the end of 2021 were CNY 20,946,277,330.45, an increase of 2.40% from CNY 20,454,753,752.51 at the end of 2020[22]. - The net assets attributable to shareholders of the listed company decreased by 90.56% to CNY 199,679,230.86 from CNY 2,115,996,968.71 at the end of 2020[22]. - The company's total liabilities amounted to 20.670 billion yuan, an increase of 2.627 billion yuan, primarily due to new loans[73]. - The company's asset-liability ratio exceeds 95%, leading to increased financing pressure due to significant profit decline from rising coal prices[99]. Operational Strategies - The company implemented effective operational strategies to mitigate the impact of high coal prices, including optimizing operational strategies and enhancing communication with government departments[34]. - The company plans to optimize its operational strategies to mitigate losses from high coal prices and improve efficiency in power generation[50][56]. - The company is focusing on enhancing equipment management and safety measures to ensure stable and efficient operations in both coal and renewable energy sectors[45]. Environmental Compliance - The company achieved a total emission of 192.48 tons of particulate matter, 1200.80 tons of sulfur dioxide, and 2569.51 tons of nitrogen oxides in 2021[1]. - The company’s dust removal facilities have an operational rate of 100% with an efficiency greater than 99.9%, while the desulfurization facilities also have a 100% operational rate with an efficiency of 98.46%[2]. - The company’s coal-fired power plants have completed ultra-low emission upgrades, ensuring compliance with stringent emission standards[4]. - The company has established a comprehensive environmental management information system, regularly updating and uploading data to the pollution permit management platform[7]. Governance and Compliance - The company emphasizes the importance of legal compliance and governance efficiency in its operational strategy[97]. - The company has established a transparent performance evaluation system and incentive mechanisms for senior management, linking their compensation to performance outcomes[148]. - The company has revised its related party transaction management measures to ensure compliance and timely review of transactions[155]. - The company has established independent financial management systems to ensure operational autonomy from Huadian Group[179]. Market and Growth Initiatives - The company is actively expanding its heating market to create new profit growth points[96]. - The company plans to enter two new international markets by Q3 2024, aiming for a 5% increase in overall revenue[119]. - The company completed a strategic acquisition valued at 500 million, expected to enhance its product offerings[117]. - The company is investing 200 million in R&D for new technologies aimed at enhancing operational efficiency[118]. Employee and Management Changes - The total number of employees in the parent company is 529, while the total number of employees in major subsidiaries is 2,574, resulting in a combined total of 3,103 employees[140]. - The company has appointed new senior management personnel, including the hiring of Wei Ning as Vice General Manager and Liu Wei as Vice General Manager and General Counsel[135]. - The company conducted 47 training sessions throughout the year, achieving a training plan completion rate of 100%, with a total of 5,241 participants[143]. Related Party Transactions - The company reported a total of 3,857,815,311.23 RMB in related party transactions, primarily for coal procurement and engineering services[189]. - The company provided services to various subsidiaries, with the highest service revenue from Huadian Qingdao Environmental Technology Co., Ltd. at CNY 652,477.37[191]. - The company had a receivable balance of CNY 44,705,237.65 from Fuxin Baiyinhua Coal Sales Co., Ltd. at the end of the reporting period[193].